Tag: FINRA
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The NASD: National Association of Securities Dealers
The NASD was an important SRO that paved the path for the current securities regulator & SRO, FINRA . . .
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FINRA
FINRA replaced the NASD around July 30th, 2007. Learn more about FINRA within this article . . . .
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Investment Company Act of 1940
The Investment Company Act of 1940 aims to ….